- GE Vernova (New York, NY)
- …and management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged through a ... of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). + Demonstrated understanding of the UK Financial… more
- HSBC (Buffalo, NY)
- … risks. Experience in assurance or audit roles preferred. Experience in securities compliance is a plus + Preferably bachelors/master's in accounting, ... team of global professionals. As our Audit Manager, Regulatory Compliance , Conduct and Legal (RCCL) Audit you will: +...HSBC will not engage in immigration sponsorship for this position . As an HSBC employee, you will have access… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
- Guardian Life (New York, NY)
- …want to be part of a collaborative Compliance Legal Team? The Compliance Analyst, Park Avenue Securities (PAS), and Park Avenue Investment Advisory (PAA), ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...of base pay for the primary location of the position . The salary for this position ultimately… more
- KeyBank (NY)
- …equivalent experience + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + ... is taken to address regulatory expectations and to ensure Key maintains compliance with financial crimes regulatory requirements. Support the AML Enterprise Team… more
- The Estee Lauder Companies (New York, NY)
- …*Coordinate comms and follow-up actions between the Board, exec leadership, stakeholders Securities Law Compliance *Provide legal counsel on SEC reporting and ... Internal Audit, Communications, HR, and Corp Citizenship & Sustainability to manage securities law compliance Proxy Statement *Lead prep/filing of the annual… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Lead Analyst is a senior level position responsible for processing orders and transactions originating from trading desks and branch offices in ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Identify project resources,… more
- Citigroup (Getzville, NY)
- The Sec & Derivat Intmd Assoc Analyst is an entry level position responsible for processing orders and transactions originating from trading desks and branch offices ... to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and… more
- TD Bank (New York, NY)
- …is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, ... operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS… more
- Citigroup (Getzville, NY)
- The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or ... objective of this role is to ensure the seamless delivery of securities and derivatives transactions. **Responsibilities:** + Manage a complex critical large… more
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